PART 1
GENERAL INSTRUCTIONS
Financial entities while maintaining and updating the register of information at entity, sub-consolidated and consolidated level, shall fill-in the templates of the register of information with data using the formats set out in the instructions in Part 2.
Part 2 lays down instructions to be followed by financial entities to complete each column of each template. When completing the information of certain columns, financial entities shall refer to Annexes II, III and IV or other external sources. In such cases, the reference to the relevant Annexes or external sources is indicated in the instructions.
List of the templates
Template Name
Entity maintaining the register of information
List of entities within the scope of consolidation
List of branches
Contractual arrangements – general information
Contractual arrangements – specific information
List of intra-group contractual arrangements
Entities signing the contractual arrangements for receiving ICT service(s) or on behalf of the entities making use of the ICT service(s)
ICT third-party service providers signing the contractual arrangements for providing ICT service(s)
Entities signing the contractual arrangements for providing ICT service(s) to other entities within the scope of consolidation
Entities making use of the ICT services
ICT third-party service providers
ICT service supply chain
Functions identification
Assessments of the ICT services
Definitions from entities making use of the ICT Services
PART 2
TEMPLATE-SPECIFIC INSTRUCTIONS
Instructions to complete template B_01.01 — Financial entity maintaining the register of information
Identify the financial entity maintaining and updating the register of information.
Column Name
LEI of the financial entity maintaining the register of information
Name of the financial entity
Country of the financial entity
Type of financial entity
Competent authority
Date of the reporting
Instructions to complete template B_01.02 —List of financial entities within the scope of the register of information
Where the register of information is maintained and updated at sub-consolidated and consolidated level, this template identifies all the financial entities belonging to the sub-group and group. Where the financial entity responsible for maintaining and updating the register of information does not belong to a group, only that financial entity shall be reported in this template and the entry of this template shall be the same as template B_01.01.
Where an entity is acting on behalf of a financial entity for all the activities of the financial entity (including the ICT services), the direct ICT third-party service providers to that entity should be recorded in the relevant templates of the register of information of the financial entity. In such case, that entity is only registered as an entity maintaining the register and shall not be reported in this template.
Column Name
LEI of the financial entity
Name of the financial entity
Country of the financial entity
Type of financial entity
Hierarchy of the financial entity within the group (where applicable)
LEI of the direct parent undertaking of the financial entity
Date of last update
Date of integration in the register of information
Date of deletion in the register of information
Currency
Value of total assets of the financial entity
Instructions to complete template B_01.03 — List of branches
Where a financial entity has branches located outside its home country, identify those branches through this template.
Column Name
Identification code of the branch
LEI of the financial entity head office of the branch
Name of the branch
Country of the branch
Instructions to complete template B_02.01 — Contractual arrangements – General information
Financial entities shall designate a ‘contractual arrangement reference number’ for each contractual arrangement in the register of information. Where the external ICT third-party service provider is making use of subcontractors, financial entities shall not include in the register of information a ‘contractual arrangement reference number’ for arrangements between the external ICT third-party service providers and their subcontractors. In case of an ICT intra-group service provider, financial entities shall include the ‘contractual arrangement reference number’ between this ICT intra-group service provider and its ICT third-party service providers in this template and shall populate the template B_02.03 (List of intra-group contractual arrangements) accordingly.
The ‘contractual arrangement reference number’ shall refer to the following type of contractual arrangements:
any kind of standalone arrangements;
any kind of ‘overarching or framework arrangements’, including master and framework arrangements;
any kind of ‘subsequent or associated arrangements’, including implementing arrangements, subservice arrangements, order forms.
The contract reference number does not refer to any kind of service level agreement subordinated to any of the types of contractual arrangements referred to in points (a), (b) and (c) above.
Column Name
Contractual arrangement reference number
Type of contractual arrangement
Overarching contractual arrangement reference number
Currency of the amount reported in B_02.01.0050
Annual expense or estimated cost of the contractual arrangement for the past year
Instructions to complete template B_02.02 — Contractual arrangements – Specific information
Financial entities shall fill in this template with the maximum level of granularity possible. Where the contractual arrangement includes multiple ICT services supporting multiple functions, financial entities shall use as many rows as the elements in the template by combining the ICT services covered in the contractual arrangement and the financial entity’s functions.
Column Name
Contractual arrangement reference number
LEI of the financial entity making use of the ICT service(s)
Identification code of the ICT third-party service provider
Type of code to identify the ICT third-party service provider
Function identifier
Type of ICT services
Start date of the contractual arrangement
End date of the contractual arrangement
Reason of the termination or ending of the contractual arrangement
Notice period for the financial entity making use of the ICT service(s)
Notice period for the ICT third-party service provider
Country of the governing law of the contractual arrangement
Country of provision of the ICT services
Storage of data
Location of the data at rest (storage)
Location of management of the data (processing)
Sensitiveness of the data stored by the ICT third-party service provider
Level of reliance on the ICT service supporting the critical or important function.
Instructions to complete template B_02.03 — List of intra-group contractual arrangements
Template B_02.03 identifies contractual arrangements from the same ICT service supply chain using the intra-group contractual reference numbers in cases where the ICT service supply chain contains ICT intra-group service providers, i.e. where at least one of the ICT third-party service providers in the ICT service supply chain is an entity belonging to the same group of the entity making use of the ICT services.
Column Name
Contractual arrangement reference number
Contractual arrangement linked to the contractual arrangement referred in B_02.03.0010
Instructions to complete template B_03.01 — Entities signing the contractual arrangements for receiving ICT service(s) on behalf of the financial entities making use of the ICT service(s)
Identify all the financial entities referred to in template B_01.02 signing the contractual arrangements referred to in template B_02.01 for receiving the ICT services. Where the register of information is maintained and updated at entity level the financial entity signing the contractual arrangements is the financial entity maintaining and updating the register of information itself.
The entities signing the contractual arrangement is not necessarily a financial entity nor the financial entity making use of the ICT services provided by the ICT third-party service provider.
For example, the entity signing the contractual arrangement referred to in the second subparagraph can be an ICT intra-group service provider, a financial or non-financial entity belonging to the same group of the financial entities making use of the ICT services provided by the ICT third-party service provider.
Column Name
Contractual arrangement reference number
LEI of the entity signing the contractual arrangement
Instructions to complete template B_03.02 — ICT third-party service providers signing the contractual arrangements for providing ICT service(s)
Identify all the ICT third-party service providers referred to in template B_05.01 signing the contractual arrangements referred to in template B_02.01 for providing the ICT services.
Column Name
Contractual arrangement reference number
Identification code of ICT third-party service provider
Type of code to identify the ICT third-party service provider
Instructions to complete template B_03.03 — Financial entities signing the contractual arrangements for providing ICT service(s) to other financial entities in the consolidation.
Identify all financial entities referred to in template B_01.02 that have signed contractual arrangements as referred to in template B_02.01 for providing ICT services to other entities in the consolidation referred to in template B_01.02.
Column Name
Contractual arrangement reference number
LEI of the financial entity providing ICT services
Instructions to complete template B_04.01 —Financial entities making use of the ICT services
All financial entities referred to in template B_01.02 and branches of financial entities referred to in template B_01.03 that are making use of the ICT services provided by an ICT third-party provider shall be reported in this template.
Column Name
Contractual arrangement reference number
LEI of the financial entity making use of the ICT service(s)
Nature of the financial entity making use of the ICT service(s)
Identification code of the branch
Instructions to complete template B_05.01 — ICT third-party service provider
Financial entities shall identify all the relevant ICT third-party service providers, including:
all the direct ICT third-party service providers;
all ICT intra-group service provider;
all subcontractors that are identified in template B_05.02 on the ICT service supply chain;
all ultimate parent undertakings of the ICT third-party service providers referred to in points (a), (b) and (c) above.
Column Name
Identification code of ICT third-party service provider
Type of code to identify the ICT third-party service provider
Additional identification code of ICT third-party service provider
Type of additional identification code to identify the ICT third-party service provider
Legal name of the ICT third-party service provider
Name of the ICT third-party service provider in Latin alphabet
Type of person of the ICT third-party service provider
Country of the ICT third-party service provider’s headquarters
Currency of the amount reported in B_05.01.0070
Total annual expense or estimated cost of the ICT third-party service provider
Identification code of the ICT third-party service provider’s ultimate parent undertaking
Type of code to identify the ICT third-party service provider’s ultimate parent undertaking
Instructions to complete template B_05.02 — ICT service supply chains
This template identifies and links the ICT third-party service providers that are part of the same ICT service supply chain together.
The ICT service supply chain shall include, where applicable:
all direct ICT third-party service providers;
all ICT intragroup service providers;
for the ICT services supporting a critical or important function or material part thereof, all subcontractors that effectively underpin the provision of those ICT services (i.e. all the subcontractors providing ICT services whose disruption would impair the security or the continuity of the service provision);
where an ICT intragroup service provider uses subcontractors to provide their ICT services to the financial entity, at least the first extra-group subcontractor even if the ICT services provided do not support a critical or important function or material parts thereof.
All ICT third-party service providers belonging to the same ICT service supply chain share:
the same ‘contractual arrangement reference number’ as referred to in template B_02.01;
the same ‘type of ICT services’ as referred to in Annex III;
Each ICT third-party service provider that belongs to the same ICT service supply chain is assigned with a ‘rank’ (template B_05.02.0050) to identify its position within the ICT service supply chain. Where multiple ICT third-party service providers have the same position within the same ICT service supply chain, those providers shall be assigned with the same ‘rank’. In accordance with Article 2, the direct ICT third-party service providers are therefore at rank 1. If the rank is higher than 1, the ICT third-party service providers are subcontractors.
To link the ICT third-party service providers that belong to the same ICT service supply chain together, for each ICT subcontractor (i.e. where the ‘rank’ is higher than 1) financial entities shall identify the ICT third-party service provider that receives its subcontracted services. The identification of the ICT third-party service provider that receives the subcontracted services shall be carried out by using the columns B_05.02.0060 and B_05.02.0070.
For each ICT service supply chain (i.e., a combination of a "contractual arrangement reference number" and a "type of ICT services", where there are multiple ICT third-party service providers receiving the subcontracted services, all of those service providers shall be reported in separate rows in the template. The same logic applies at each rank of the ICT service supply chain.
Column Name
Contractual arrangement reference number
Type of ICT services
Identification code of the ICT third-party service provider
Type of code to identify the ICT third-party service provider
Rank
Identification code of the recipient of sub-contracted ICT services
Type of code to identify the recipient of sub-contracted ICT services
Instructions to complete template B_06.01 — Functions identification
Financial entities shall identify and provide information on all functions of the financial entity according to the financial entity’s internal organisation supported by an ICT service provided by ICT third-party service providers.
Each combination of the following items shall have a unique function identifier assigned:
‘LEI of the financial entity making use of the ICT service(s)’ column B_06.01.0040;
‘Licenced activity’ column B_06.01.0020;
‘Function name’ column B_06.01.0030.
Financial entities shall use as many rows as the elements in the template by combining the two items above to fill-in this template.
Column Name
Function Identifier
Licenced activity
Function name
LEI of the financial entity
Criticality or importance assessment
Reasons for criticality or importance
Date of the last assessment of criticality or importance
Recovery time objective of the function
Recovery point objective of the function
Impact of discontinuing the function
Instructions to complete template B_07.01 — Assessment of the ICT services
When supporting a critical or important function or material parts thereof, this template enables further assessments of the ICT services provided by ICT third-party service providers, including the first extra-group subcontractor in the ICT service supply chain when the prior ICT third-party service providers are intra-group, to the financial entity.
Column Name
Contractual arrangement reference number
Identification code of the ICT third-party service provider
Type of code to identify the ICT third-party service provider
Type of ICT services
Substitutability of the ICT third-party service provider
Reason where the ICT third-party service provider is considered not substitutable or difficult to be substitutable
Date of the last audit on the ICT third-party service provider
Existence of an exit plan
Possibility of reintegration of the contracted ICT service
Impact of discontinuing the ICT services
Are there alternative ICT third-party service providers identified?
Identification of alternative ICT TPP
Instructions to complete template B_99.01 — Terminology used by financial entities using the ICT services
Financial entities shall provide entity-internal explanations, meanings, and definitions of the closed set of indicators and options used by them in the register of information.
B_99.01.C0020
Column Name
B_02.01.0020
Overarching arrangement
Subsequent or associated arrangement
B_02.02.0170
Medium
High
B_06.01.0110
Medium
High
B_07.01.0050
Highly complex substitutability
Medium complexity in terms of substitutability
Easily substitutable
B_07.01.0090
Difficult
Highly complex
B_07.01.0100
Medium
High